MEASURING SMALLHOLDER LAND INVESTMENTS IN NORTHWEST VIETNAM: A CROSS- CULTURAL STUDY OF THREE HIGHLAND VILLAGES IN PHỎNG LÁI COMMUNE, SƠN LA PROVINCE by RICHARD CHRISTOPHER OWENS (Under the Direction of Bram Tucker) ABSTRACT In this dissertation, I investigate the connection between land tenure and the conservation of natural resources in the northwestern uplands of Vietnam (Sơn La province) through a focus on the political and economic forces that shape smallholder investment practices. Within a historically-informed context, I analyze and compare smallholder land use decisions among Kinh, Hmông, and Thái groups considering identity, cultural practices, and household economics. Recently, Vietnam has banned swidden agriculture in favor of the intensification of upland agriculture. To that purpose, it has provided technology, subsidies, and extension services targeted to lowland majority development models. During the course of this dissertation, I analyze soil conservation activities in three villages (between and within designs) and across the commune at the household level. Results from investment activities (short-term, long-term and household rate categories) show that smallholders’ long-term investments are significantly smaller in relation to household investments. I contend that there are a number of social, economic, and environmental reasons for why Hmông, Thái and Kinh are not making significant soil conservation investments. State policies aimed at suppressing swidden agriculture have been replaced with intensive upland farming, leading to increased erosion and land degradation. Traditional swidden systems do not require inputs, hence they are not receiving long-term investments. Upland farming is possible through the use of inorganic fertilizers that are necessary for HYV maize production. Examining the failure of the property rights to conserve natural resources this research makes a significant contribution to the theory of property rights This study considers the socio-cultural and economics dynamics of land title and natural resource management. INDEX WORDS: Vietnam, property rights, Red book Certificate, Investments, smallholders, northern highlands, ethnic minority, agriculture, Kinh, Thái, Hmông MEASURING SMALLHOLDER LAND INVESTMENTS IN NORTHWEST VIETNAM: A CROSS- CULTURAL STUDY OF THREE HIGHLAND VILLAGES IN PHỎNG LÁI COMMUNE, SƠN LA PROVINCE by RICHARD CHRISTOPHER OWENS BS, University of California Santa Barbara, 1997 MA, University of Nebraska Lincoln 2003 A Dissertation Submitted to the Graduate Faculty of the University of Georgia in Partial Fulfillment of the Requirements for the Degree DOCTORAL OF PHILOSOPHY ATHENS, GEORGIA 2013 © 2013 RICHARD CHRISTOPHER OWENS All Rights Reserved MEASURING SMALLHOLDER LAND INVESTMENTS IN NORTHWEST VIETNAM: A CROSS- CULTURAL STUDY OF THREE HIGHLAND VILLAGES IN PHỎNG LÁI COMMUNE, SƠN LA PROVINCE By RICHARD CHRISTOPHER OWENS Major Professor: Bram Tucker Committee: Ted. L. Gragson J.Peter Brosius Jean Michaud Electronic Version Approved: Maureen Grasso Dean of the Graduate School The University of Georgia December 2013 iv ACKNOWLEDGEMENTS First, I would like to thank my major advisor, Bram Tucker, and my advisory committee members, Ted Gragson, Jean Michaud, and Pete Brosius. Thank you for your encouragement and valuable time throughout the years. I greatly appreciate the late Dr. Robert Rhoades for encouraging me to study at the Department of Anthropology at UGA. His sudden death came as a surprise for me and I am thankful for the department in helping me adjust and prepare the way for my dissertation. I am indebted to my committee for their encouragement, expertise, and mentorship that helped me throughout the entire process. I am also grateful to the students and staff provided me with a multiple resources, feedback and ideas that helped me every step of the way. I am thankful for Jeremy Reynolds in Sociology for his expertise in statistical analysis and his sincere interest in understanding my data set and research design. To those outside of UGA who have influence my research along the way, I would like to thank Professor Tay Bac and the Southeast Asian Summer Studies Institute (SEASSI) for their patience and encouragement I struggled to master Vietnamese. I am thankful for the Library of Congress Asian Library and the National Agriculture Library in Washington DC. I am grateful to the Institute of Anthropology in Hanoi for providing institutional and logistical support, especially Tran Hong Hanh, Nguyen Hong Ngan, and Tinh Vuong. I am very grateful to the people of Phỏng Lái commune who provided me with a place to stay and invited me into their homes on a regular basis. Your kindness and towards a stranger was greatly appreciated, for your patience with my lengthy survey and rather clumsy questioning. v This research project was funded by a Fulbright Research Grant and would not be possible with out the generous support. I greatly appreciate the effort to keep all the scholars connected throughout the year of living abroad and for providing an opportunity to present in a regional conference in Kuala Lumpur, Malaysia. Finally, a special thanks goes out to my family and closest friends who have supported me along the way. I am thankful for Grandpa Thomas who gave me a lifetime subscription to National Geographic Society and to Grandma Lolly, who encouraged me to be free and to explore the world. Her love of Asia influenced me beyond measurement. I am thankful for Beth Anderson for being my friend through the long and many steps of this journey, travel buddy, sounding board and financier. vi TABLE OF CONTENTS Page ACKNOWLEDGEMENTS ........................................................................................................................................ iv LIST OF TABLES ........................................................................................................................................................ x LIST OF FIGURES ..................................................................................................................................................... xii CHAPTER 1 INTRODUCTION: MEASURING SMALLHOLDER INVESTMENT PRACTICES IN NORTHWEST VIETNAM ................................................................................................................... 1 Introduction ................................................................................................................................... 1 Property Rights and the Link to Long-term Investments .......................................... 2 Research Questions ................................................................................................................. 14 Theoretical Framework ........................................................................................................ 14 Field Site Description and Methods .................................................................................. 36 Outline of Dissertation ........................................................................................................... 41 2 CONDUCTING FIELDWORK IN HIGHLAND SOCIALIST VIETNAM ............................. 43 Introduction ....................................................................................................................................... 43 Entry into the Field ......................................................................................................................... 47 Positionality, Issues of Power, Hierarchy and Identity ............................................ 49 Totalitarian Regimes and Protectionist Respondents .............................................. 52 Conclusion .................................................................................................................................. 70 3 HISTORY OF PROPERTY RELATIONS IN HIGHLAND VIETNAM ................................. 72 vii Introduction to Land Reform in Vietnam……………………………………….. .............. 72 Theories of Land Tenure and Land Management ....................................................... 80 Historical Property Rights in Vietnam ............................................................................ 87 Induced Intensification in Phỏng Lái post-Đổi Mới.………………………………....124 Conclusion: Influence of Changing Land Tenure Systems .................................... 126 4 HIGHLAND CULTURAL AND ECONOMIC INTERACTIONS ........................................... 128 Introduction .............................................................................................................................. 128 Geography of Sơn La Province, Northwest aVietnam ............................................. 131 Upland Ethnic Diversity ....................................................................................................... 140 Environmental Effects of Socialist Policies ................................................................. 162 Conclusion……………………………………………………………………………….……………172 5 CROSS-CULTURAL COMPARISON OF AGRICULTURAL INVESTMENT STRATEGIES ..................................................................................................................................... 176 Introduction .............................................................................................................................. 176 Theoretical Framework ....................................................................................................... 180 Field Site and Background .................................................................................................